0001209191-17-013207.txt : 20170222 0001209191-17-013207.hdr.sgml : 20170222 20170222161602 ACCESSION NUMBER: 0001209191-17-013207 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170221 FILED AS OF DATE: 20170222 DATE AS OF CHANGE: 20170222 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NANOPHASE TECHNOLOGIES Corp CENTRAL INDEX KEY: 0000883107 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS PRIMARY METAL PRODUCTS [3390] IRS NUMBER: 363687863 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1319 MARQUETTE DRIVE CITY: ROMEOVILLE STATE: IL ZIP: 60446 BUSINESS PHONE: 6303231200 MAIL ADDRESS: STREET 1: 1319 MARQUETTE DRIVE CITY: ROMEOVILLE STATE: IL ZIP: 60446 FORMER COMPANY: FORMER CONFORMED NAME: NANOPHASE TECHNOLOGIES CORPORATION DATE OF NAME CHANGE: 19970305 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Baldwin Nancy CENTRAL INDEX KEY: 0001446736 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22333 FILM NUMBER: 17628563 MAIL ADDRESS: STREET 1: 1319 MARQUETTE DRIVE CITY: ROMEOVILLE STATE: IL ZIP: 60446 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-02-21 0 0000883107 NANOPHASE TECHNOLOGIES Corp NANX 0001446736 Baldwin Nancy 1319 MARQUETTE DRIVE ROMEOVILLE IL 60446 0 1 0 0 VP Human Resources & IT Common Stock 987 D Common Stock (right to buy) 4.48 2008-11-06 2017-11-06 Common Stock 9000 9000 D Common Stock (right to buy) 3.14 2009-05-12 2018-05-12 Common Stock 15000 15000 D Common Stock (right to buy) 1.02 2010-05-04 2019-05-04 Common Stock 30000 30000 D Common Stock (right to buy) 1.70 2011-05-03 2020-05-03 Common Stock 27000 27000 D Common Stock (right to buy) 1.26 2012-05-02 2021-05-02 Common Stock 31000 31000 D Common Stock (right to buy) 0.30 2013-08-07 2022-08-07 Common Stock 41000 41000 D Common Stock (right to buy) 0.415 2014-02-14 2023-02-14 Common Stock 39000 39000 D Common Stock (right to buy) 0.52 2015-02-13 2024-02-13 Common Stock 40000 40000 D Common Stock 0.44 2016-02-18 2025-02-18 Common Stock 36000 36000 D Common Stock (right to purchase) 0.42 2017-02-23 2026-02-23 Common Stock 31500 31500 D Common Stock (right to purchase) 0.68 2017-02-21 4 A 0 36000 0.68 A 2018-02-21 2027-02-21 Common Stock 36000 36000 D Subject to certain restrictions, beginning on this date, options vest in three equal annual installments. By Jess Jankowski, under UPA, for Nancy Baldwin 2017-02-22